RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L•••• J••• B•••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince May 18, 2018 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to May 15, 2018 · Wausau, Wi
- S•• I••••••••• I••• formerOct 11, 2010 to Feb 14, 2018 · Tomahawk, Wi
- K•• F••••••••• I••• independent RIANov 7, 2003 to Oct 13, 2010 · Green Bay, Wi
- L•• F•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left May 15, 2018, registered May 18, 2018 (3 days) · RIA to RIA
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- K•• F••••••••• I••• to S•• I••••••••• I•••left Oct 13, 2010, registered Oct 11, 2010 (-2 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address